Stock Trading Canary

United States · SEC Form 4 · Snapshot date: 2026-10-19 · Built: 2026-10-19 · 中文

← United States · Coverage record

US · SEC FORM 4

CATERPILLAR INC

CAT · NYSE · CIK 0000018230 · Industrials · Farm & Heavy Construction Machinery

INSIDER SIGNAL

No active buy signal

1 qualifying P purchase group
in the current 180-day scoring window

67 Form 4 transaction lines observed in the same window
35 sales · 31 option, withholding, award, gift or other lines

Last qualifying purchase2026-05-04 · MacLennan David · $219.2K

WHY NO ACTIVE SIGNAL?

Purchase activityPresent
Recent buying1 qualifying line group(s)
Recent salesHigh
Buy signal statusInactive
Score anatomy

No score is calculated because there is no qualifying purchase in the active window. Unavailable inputs are not treated as zero or as a bearish signal.

ClusterNot calculated
Purchase sizeNot calculated
RoleNot calculated
RecencyNot calculated
ConvictionNot calculated

Why is there no score?

  • No qualifying open-market purchase supplies cluster, size, role, recency or conviction inputs.
  • Sales and other Form 4 activity remain visible as context and do not create a negative score.

Sales and other Form 4 activity are shown separately and do not create a negative buy signal. Absence of buying is not scored as bearish.

Purchase breadth & concentration

QUALIFYING BUYERS1
PURCHASE CONCENTRATION100%Largest buyer: MacLennan David · $219.2K
CLUSTER BUYING · 15D1 insiderPeak activity: 2026-05-04–2026-05-04

Roles in the peak window: Director. Concentration uses priced qualifying P lines only and does not change the saved score.

Insider activity timeline

Owner lanes show the latest 180 days. Symbol shape identifies the transaction type; sales remain context only.

AprMayJunJulAugSepOct
Johnson Denise CGroup President
○○▼○○▼
Fassino Anthony D.Group President
○○▼○○▼
Creed Joseph EChief Executive Officer
○○○▼
De Lange BobGroup President
○○▼
WILKINS RAYFORD JRDirector
○
SCHWAB SUSAN CDirector
○
● Purchase▼ Sale○ Other

Showing the six most active owners; 10 additional owner(s) remain in Form 4 evidence.

SIGNAL HISTORY

No recorded active-signal snapshot

Scores are archived only when the company qualifies for a published US buy-signal snapshot. Last qualifying purchase: 2026-05-04 · MacLennan David.

Recent Form 4 activity

2Purchases
91Sales
113Other Form 4 lines
79SEC filings · 365 days
BUYING1 qualifying P line(s) · 180 days
SELLING35 sale line(s) · context only
OTHER31 exercise / withholding / award / gift / other lines
10b5-1 / PLANNEDNot assessed

P is an open-market or private purchase. S is a sale. M, F, A and G usually describe exercises, tax withholding, awards and gifts. These categories remain visually separate.

Market context

Market context provides additional background on recent price performance and risk. It does not affect the Insider Signal.

Price performance

1M
+2.1%
3M
-17.9%
6M
+14.9%
12M
—

Volatility & liquidity

Volatility
39.9%
Beta
1.59
Avg daily value
USD 2.2B

Valuation

Market cap
USD 374.5B
P/E
35.1×

Fundamentals

Profit margin
13.1%
ROE
41.7%
Industry
Farm & Heavy Construction Machinery

Market data

Price data up to: 2026-09-30 · Price source: OpenBB/yfinance · From SEC filings: Profit margin, ROE · Fiscal year ended: 2025-12-31 · From Yahoo Finance: Market cap, P/E · Status: PASS

Short interest

Short interest is external context reported to FINRA by broker-dealers. It does not affect the Insider Signal.

Shares short
8,005,755
Previous report
8,377,107
Avg daily volume
2,474,941
Days to cover
3.2

FINRA settlement date: 2026-09-30 · Captured 2026-10-12 · FINRA equity short interest ↗. A share count, published about a week after each of two settlement dates a month; not a percentage of shares outstanding.

Historical equity purchases

Qualifying code P transactions in the local Form 4 history, including purchases outside the current signal window.

Transaction dateReporting ownerTypeSecuritySharesAvg. priceApprox. valueSource
2026-05-04MacLennan DavidPurchase (P)Common Stock250USD 876.84USD 219,210SEC filing ↗
2025-11-06MacLennan DavidPurchase (P)Common Stock300USD 568.86USD 170,658SEC filing ↗
2025-05-07MacLennan DavidPurchase (P)Common Stock375USD 320.70USD 120,262SEC filing ↗
2025-05-02Johnson GeraldPurchase (P)Common Stock100USD 318.48USD 31,848SEC filing ↗
2025-02-04Johnson GeraldPurchase (P)Common Stock100USD 365.57USD 36,557SEC filing ↗
2024-12-04Johnson GeraldPurchase (P)Common Stock100USD 398.57USD 39,857SEC filing ↗
2024-09-04Johnson GeraldPurchase (P)Common Stock100USD 338.59USD 33,859SEC filing ↗
2024-05-20Johnson GeraldPurchase (P)Common Stock100USD 356.40USD 35,640SEC filing ↗
2024-05-03MacLennan DavidPurchase (P)Common Stock500USD 337.39USD 168,695SEC filing ↗
2024-02-23MacLennan DavidPurchase (P)Common Stock350USD 323.37USD 113,180SEC filing ↗
2023-02-17MacLennan DavidPurchase (P)Common Stock400USD 249.29USD 99,716SEC filing ↗
2022-05-05MacLennan DavidPurchase (P)Common Stock600USD 219.82USD 131,892SEC filing ↗
2022-02-07MacLennan DavidPurchase (P)Common Stock480USD 199.50USD 95,760SEC filing ↗
2021-08-04MacLennan DavidPurchase (P)Common Stock500USD 206.20USD 103,100SEC filing ↗
2021-05-05MacLennan DavidPurchase (P)Common Stock420USD 237.86USD 99,901SEC filing ↗

Form 4 evidence

206 transaction lines in the latest 365-day window; 709 in local history.

DateOwnerTypeSecuritySharesAvg. priceApprox. valueSource
2026-08-28Creed Joseph ESale (S)Common Stock32,401USD 808.98USD 26,211,764SEC filing ↗
2026-08-28Creed Joseph EOption exercise / conversion (M)Common Stock44,403USD 219.76USD 9,758,003SEC filing ↗
2026-08-28Creed Joseph ETax withholding (F)Common Stock12,002USD 812.98USD 9,757,386SEC filing ↗
Show recent Form 4 evidence (30 grouped rows)
DateOwnerTypeSecuritySharesAvg. priceApprox. valueSource
2026-08-28Creed Joseph ESale (S)Common Stock32,401USD 808.98USD 26,211,764SEC filing ↗
2026-08-28Creed Joseph EOption exercise / conversion (M)Common Stock44,403USD 219.76USD 9,758,003SEC filing ↗
2026-08-28Creed Joseph ETax withholding (F)Common Stock12,002USD 812.98USD 9,757,386SEC filing ↗
2026-06-10WILKINS RAYFORD JRAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10SCHWAB SUSAN CAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10REED DEBRA LAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10Marks Judith FranAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10MacLennan DavidAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10KEENE NAZZIC SAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10Johnson GeraldAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-06-10Fish James C JrAward / grant (A)Common Stock211USD 0.00USD 0SEC filing ↗
2026-05-14Johnson Denise CSale (S)Common Stock12,605USD 907.91USD 11,444,170SEC filing ↗
2026-05-14Johnson Denise COption exercise / conversion (M)Common Stock16,078USD 196.70USD 3,162,543SEC filing ↗
2026-05-14Johnson Denise CTax withholding (F)Common Stock3,473USD 910.55USD 3,162,340SEC filing ↗
2026-05-13Schaupp William ESale (S)Common Stock360USD 906.00USD 326,160SEC filing ↗
2026-05-13Johnson Denise CSale (S)Common Stock6,196USD 909.79USD 5,637,081SEC filing ↗
2026-05-13Johnson Denise COption exercise / conversion (M)Common Stock7,900USD 196.70USD 1,553,930SEC filing ↗
2026-05-13Johnson Denise CTax withholding (F)Common Stock1,704USD 911.61USD 1,553,383SEC filing ↗
2026-05-11Pambianchi Christine MTax withholding (F)Common Stock224USD 912.03USD 204,295SEC filing ↗
2026-05-11Fassino Anthony D.Sale (S)Common Stock16,283USD 916.80USD 14,928,266SEC filing ↗
2026-05-11Fassino Anthony D.Option exercise / conversion (M)Common Stock21,403USD 219.76USD 4,703,523SEC filing ↗
2026-05-11Fassino Anthony D.Tax withholding (F)Common Stock5,120USD 918.65USD 4,703,488SEC filing ↗
2026-05-11Creed Joseph ETax withholding (F)Common Stock574USD 912.03USD 523,505SEC filing ↗
2026-05-08Epley Kyle JosephAward / grant (A)Common Stock515USD 0.00USD 0SEC filing ↗
2026-05-06Fassino Anthony D.Sale (S)Common Stock9,152USD 926.25USD 8,477,067SEC filing ↗
2026-05-06Fassino Anthony D.Option exercise / conversion (M)Common Stock12,000USD 219.76USD 2,637,120SEC filing ↗
2026-05-06Fassino Anthony D.Tax withholding (F)Common Stock2,848USD 925.74USD 2,636,508SEC filing ↗
2026-05-06De Lange BobSale (S)Common Stock24,222USD 922.92USD 22,354,978SEC filing ↗
2026-05-06De Lange BobOption exercise / conversion (M)Common Stock28,105USD 127.60USD 3,586,198SEC filing ↗
2026-05-06De Lange BobTax withholding (F)Common Stock3,883USD 923.38USD 3,585,485SEC filing ↗

Multiple price lines in one filing are grouped and share-weighted. Price and value are blank when a grouped filing line lacks price evidence.

Snapshot & identity

Snapshot date2026-10-19
Ranking versionUS-v1.2
Data qualityPASS ELIGIBLE · —
TickerCAT
CIK0000018230
SectorIndustrials
IndustryFarm & Heavy Construction Machinery Yahoo Finance
SEC SIC3531 Construction Machinery & Equip
ExchangeNYSE

Data coverage

Local Form 4 history709 transaction lines from 2020-02-11 to 2026-08-28
15 P purchase lines · 205 S sale lines · 489 other lines
SEC company submissionsOpen SEC filings ↗

Local ledger as of 2026-10-19. Mapping status is an audit field and does not erase SEC filing evidence.